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535 Cerrillos Road Suite A2, Santa Fe, NM 87501 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2021-05-04 |
| NM | RA | APPROVED | 2020-08-14 |
Branch Locations
535 Cerrillos Road Suite A2, Santa Fe, NM 87501 • United States
300 Vestavia Parkway Ste 2300, Birmingham, AL 35216 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Collateral Agency | Birmingham | AL | 12/1997 | 11/2018 |
| Proequities, Inc. | Birmingham | AL | 11/2000 | 12/2017 |
| First Affirmative Financial Network | Colorado Springs | CO | 01/2018 | 08/2020 |
| Horizons Sustainable Financial Services, Inc. | Santa Fe | NM | 08/2020 | Present |
1. DBA: THE PERRET FINANCIAL GROUP; INVESTMENT RELATED; 300 VESTAVIA PARKWAY SUITE 2300, BIRMINGHAM AL 35216; FINANCIAL PLANNING AND FIXED INSURANCE PRODUCTS; PRESIDENT; STARTED 11/2000; 160 HRS/MO. 2. VOLUNTEER, ALABAMA FIRST; NOT INVESTMENT RELATED; 732 MONTGOMERY HWY BIRMINGHAM, AL 35216; TREASURER DUTIES; TREASURER; STARTED 04/2010; 10 HRS/MO. ALABAMA RIVERS ALLIANCE POSITION: BOARD TREASURER NATURE: CONSERVATION INVESTMENT RELATED: NO NUMBER OF HOURS: 15 INVESTMENT RELATED HOURS: 0 START DATE: 09/02/2013 ADDRESS: 2014 6TH AVE NORTH, STE 200, BIRMINGHAM AL 35203 DESCRIPTION: NON-PROFIT CONSERVATION ORGANIZATION FOCUSING ON PRESERVATION OF AND RESTORATION OF ALABAMA RIVERS. RECOMMEND POLICIES FOR STAFF HANDLING OF DONATIONS. REVIEW POLICIES WITH DIRECTOR AND EDUCATE STAFF TO PROPER PROCEDURES. AUDIT MONTHLY EXPENDITURES AND REPORT FINDINGS TO THE BOARD OF DIRECTORS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-21 |
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